Nathalie James

Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

The Toronto-Dominion Bank
FRN 124859
- [FCA CF] Client dealing (since 2 Sep 2025)
Marex Financial (no longer approved here)
FRN 442767
- [FCA CF] Client dealing (28 Jul 2023 to 18 Aug 2025)
Commonwealth Bank of Australia (no longer approved here)
FRN 139185
- [FCA CF] Client dealing (6 Sep 2021 to 4 Jul 2023)

Updates to this individual's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.